Description
The Compliance Advisor Manager performs a key risk management role in the Regulatory Consumer Center of Excellence (COE) within Fair & Responsible Banking Compliance.
The COE Compliance Advisor Manager helps ensure that corporate initiatives and lines of business processes comply with the laws, regulations, policies and standards that fall within the COE’s scope of coverage.
Responsibilities:
- Develop and expand subject matter expertise with relevant laws, regulations, regulatory guidance, and compliance standards
- Partner with other Compliance Advisors, attorneys in the Legal department, and lines of business associates to provide guidance on applicable standards and related requirements, governance, controls to ensure consistent and effective risk management across different business areas
- Develop tools, training, processes, and guidance to drive consistent and efficient advisory engagement within programmatic areas
- Execute monitoring and other oversight activities associated with the standards owned by the COE
- Develop and mature informative reporting on programmatic risk across the enterprise
- Conduct or support risk assessments across lines of business for new processes, new products, key programs, and/or initiatives, advise lines of business of identified risks, and support remediation efforts and/or policy and process changes
- Anticipate, identify, and escalate risk scenarios early and propose potential mitigations
- Assess business area performance relative to key metrics
- Provide effective challenge and guidance on compliance risks and support lines of business through collaborative interactions and engagements
- Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts and regulatory focus areas
- Coordinate with cross-functional teams to accomplish shared objectives
- Actively participate on complex projects by providing guidance, advice, and effective challenge
- Assist in the promotion of a culture of compliance and managed risk taking
This role is designated as a hybrid position. You are expected to adhere to Capital One's hybrid policy regarding required on-site presence at your designated office location.
Basic Qualifications:
- Bachelor's Degree or Military Experience
- At least 5 years of experience in compliance, legal, or audit
Preferred Qualifications:
- Master’s Degree or Juris Doctor
- 6 years + of experience in compliance, legal, or audit within the financial services industry
- Certified Regulatory Compliance Manager
- Strong written and verbal communication skills
- Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsible to dynamic situations
The minimum and maximum full-time annual salaries for this role are: Chicago, IL: $138,100 - $157,700 McLean, VA: $151,900 - $173,400 Richmond, VA: $138,100 - $157,700
This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI).
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.